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Last updated 3 days ago
Joint Readout of Principals’ Meeting of U.S. and UK Authorities Regarding Central Counterparty Resolution
3 days ago
Senior officials from the Securities and Exchange Commission, Federal Deposit Insurance Corporation...
President’s Year 2000 Council, SEC, NYSE, NASD, ICI, SIA Outline Securities Industry Efforts For Smooth Transition Into Year 2000
7 days ago
The President’s Council onYear 2000 Conversion, the Securities and Exchange Commission(SEC), the...
SEC CHAIRMAN ARTHUR LEVITT, IOWA OFFICIALS TO HOLD INVESTORS’ TOWN MEETING IN DES MOINES
3 days ago
On Friday, November 21, U.S.Securities and Exchange Commission Chairman Arthur Levitt, U.S.Representative...
Municipal Securities Underwriters Pay a Total of $325,000 in Fines
3 days ago
The Securitiesand Exchange Commission announced today that NASD RegulationInc. censured and fined...
SEC Charges Founder and His Two New Jersey-Based Companies in Alleged $16 Million Ponzi Scheme
4 days ago
The Securities and Exchange Commission today charged Ernest Ossei Boateng and two...
SEC Proposes Rescission of Political Contribution Rule for Investment Advisers
11 days ago
The Securities and Exchange Commission today issued a proposal to rescind its...
SEC Investor Advisory Committee to Host Sept. 10 Meeting
11 days ago
The Securities and Exchange Commission’s Investor Advisory Committee will host a public...
SEC Announces Agenda and Panelists for Roundtable on Preparations for 24-Hour Trading
13 days ago
The Securities and Exchange Commission today announced the agenda and panelists for...
SEC Charges San Francisco Bay Area Private Fund Executives with Multimillion Dollar Ponzi-Like Scheme
13 days ago
The Securities and Exchange Commission today charged Mark D. Hanf, the former...
SEC Proposes to Modernize Rules for Registered Transfer Agents
13 days ago
The Securities and Exchange Commission today proposed to update the rules and...
SEC and FDA Announce MOU to Bolster Cooperation and Ensure Market Integrity
14 days ago
The Securities and Exchange Commission and the Food and Drug Administration today...
SEC Proposes Amendments to Exchange Act Rule 3a12-8 to Add European Union Debt Obligations
17 days ago
The Securities and Exchange Commission today proposed amendments to Rule 3a12-8 under...